Elite Color Environmental Resources Science&Technology Co.Ltd(002998) internal control rules implementation self inspection form
Securities code: Elite Color Environmental Resources Science&Technology Co.Ltd(002998) securities abbreviation: Elite Color Environmental Resources Science&Technology Co.Ltd(002998) internal control rules implementation self inspection form
According to the requirements of Shenzhen Stock Exchange, self inspection was conducted on the implementation of the company's internal control rules. See the table below for details:
Internal control rules implementation self inspection items yes / no / inapplicable description
1、 Internal audit and operation of the audit committee 1. Whether the head of the internal audit department is full-time and nominated by the audit committee and appointed and removed by the board of directors. 2. Whether the company has established an internal audit department independent of the financial department, and whether it is equipped with full-time internal auditors. 3. Whether the internal audit department reports to the audit committee at least quarterly.
4. Is the internal audit department responsible for the following ------
Check the following items:
(1) The deposit and use of raised funds are
(2) External guarantee is
(3) Related party transactions are
(4) Securities investment not applicable
(5) Venture capital not applicable
(6) External financial assistance is not applicable
(7) The purchase and sale of assets is
(8) Foreign investment is
(9) The company's large capital transactions are
(10) The capital flows between the company and its directors, supervisors, senior managers, controlling shareholders, actual controllers and their affiliates 5. Whether the audit committee has held a meeting at least once a quarter to review the work plans and reports submitted by the internal audit department. 6. Whether the audit committee reports the internal audit progress, quality and major problems to the board of directors at least once a quarter. 7. Whether the internal audit department submits the annual internal audit work report and the internal audit work plan for the next year to the Audit Committee on time. 2、 Internal control of information disclosure
Elite Color Environmental Resources Science&Technology Co.Ltd(002998) internal control rules implementation self inspection form
1. Whether the company has formulated information disclosure management system is the internal confidentiality system of information disclosure and major information. 2. Whether the company appoints or authorizes the Secretary of the board of directors or securities affairs representative to check the questions of investors on the interactive website and reply in a timely and complete manner. 3. Whether the company requires the specific object to sign the letter of commitment before communicating directly with the specific object. 4. Whether the company prepares the investor relations activity record form within two trading days after the end of each investor relations activity, and timely publishes the form and the attachments (if any) such as presentations and documents provided during the activity on the interactive website of Shenzhen Stock Exchange, and at the same time on the company's website (if any). 3、 Internal control of insider trading 1. Whether the company has established a registration management system for insider information insiders, which stipulates the confidentiality management of insider information and the registration management of insider information insiders before the public disclosure of insider information according to law. 2. Whether the company fills in the archives of insiders of listed companies before the public disclosure of insider information according to law and forms a memorandum on the progress of major events when planning major events, and whether relevant personnel sign on the Memorandum for confirmation. 3. Whether the company conducts self inspection on the trading of the company's securities and their derivatives by insiders within 5 trading days after the announcement of the annual report, semi annual report and relevant major events. If it is found that the insiders of the inside information conduct insider trading, disclose the inside information or suggest others to use the inside information for trading, whether to verify and investigate the responsibility, and submit the relevant situation and handling results to the Shenzhen Stock Exchange and the local securities regulatory bureau within 2 working days. 4. Whether the company's directors, supervisors, senior managers, securities affairs representatives and the spouses of the above-mentioned persons have notified the Secretary of the board of directors in writing of their trading plans before trading the company's shares and their derivatives. 5. Whether the related party transactions of the company strictly implement the approval authority, review procedures and timely fulfill the obligation of information disclosure. 4、 Internal control of raised funds 1. Whether the company and its subsidiaries implementing the raised funds project store the raised funds in a special account and sign the tripartite supervision agreement on raised funds in time. 2. Is the internal audit department responsible for raising funds at least quarterly
Elite Color Environmental Resources Science&Technology Co.Ltd(002998) internal control rules implementation self inspection form
Conduct an audit on the use and storage of funds, and express opinions on the authenticity and compliance of the use of raised funds. 3. Except for financial enterprises, whether the company has not invested the raised funds in financial investments such as holding trading financial assets and financial assets available for sale, lending to others and entrusted financial management, and has not used the raised funds for venture capital, direct or indirect investment in companies whose main business is the purchase and sale of securities, or for pledge, entrusted loan and other investments that change the purpose of the raised funds in a disguised manner. 4. Whether the company has not used idle raised funds to supplement working capital temporarily within 12 months after venture capital investment, has not changed the investment direction of raised funds to permanent replenishment of working capital, and has not permanently used the over raised funds to supplement working capital or repay bank loans. 5、 Internal control of related party transactions 1. Whether the company reports the related party information to the Shenzhen stock exchange through the "data filling: related party data filling" column of the business area of the Shenzhen Stock Exchange within 10 trading days after the IPO listing. If the related persons and their information change, whether the company updates them within 2 trading days. Whether the related person information reported by the company is true, accurate and complete. 2. Whether the independent directors and supervisors of the company check the capital transactions between the company and related persons at least once a quarter. 3. Whether the company has defined the approval authority of the general meeting of shareholders and the board of directors for related party transactions, formulated the corresponding review procedure and implemented it. 4. Whether the company's directors, supervisors, senior managers, controlling shareholders, actual controllers and their related persons are directly, indirectly and in disguised form occupying the funds of the listed company. 6、 Internal control of external guarantee 1. Whether the company has specified in the articles of association the approval authority of the general meeting of shareholders and the board of directors on external guarantee matters and the accountability system for violating the approval authority and deliberation procedures.
2. Whether the company's external guarantee strictly implements the approval authority, review procedures and timely performs the obligation of information disclosure. 7、 Internal control of major investment 1. Whether the company has made it clear in the articles of association that the general meeting of shareholders and the board of directors are
Elite Color Environmental Resources Science&Technology Co.Ltd(002998) internal control rules implementation self inspection form
The board's approval authority and review procedures for major investments, and whether the relevant approval authority and review procedures comply with the provisions of laws and regulations and the business rules of Shenzhen Stock Exchange. 2. Whether the company strictly implements the approval authority, review procedures and timely performs the obligation of information disclosure for major investments. 3. Whether the company has not made venture capital investment in the following periods: (1) temporarily replenishing working capital with idle raised funds; (2) The change of the investment direction of the raised funds is within 12 months after the permanent supplement of working capital; (3) Within 12 months after the over raised funds are permanently used to supplement working capital or repay bank loans. 8、 Other important matters 1. Whether the controlling shareholder and actual controller of the company have signed the statement and commitment of controlling shareholder and actual controller and reported to Shenzhen Stock Exchange and the board of directors of the company for the record. Whether the change of shareholders and controlling shareholders and the actual completion of the record of the change of controlling shareholders and controlling shareholders occur within one month. 2. Whether the directors, supervisors and senior managers of the company have signed and timely updated the statement and commitment of directors, supervisors and senior managers, and then reported to Shenzhen Stock Exchange and the board of directors for the record.
Name and number of days of independent directors
3. In addition to attending the meeting of the board of directors, whether the independent director Dai Lixing 11 (on November 15, 2021, take no less than ten days to leave the company's production every year)
The construction of operating conditions, management and internal control systems is fan Yongming 12
And the implementation of the resolutions of the board of directors
On site inspection. 2 (Li Rongzhen takes office on November 15, 2021)
Elite Color Environmental Resources Science&Technology Co.Ltd(002998) board of directors
April 13, 2022
